-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Dc5t2hbjBXSlOnUwMJ1/ng2clh/TgHw00/pFBR62gvUj54k3AdDaqQCPX/luOEoq LJhDgrnJMk/Xxq+WORA49w== 0000947871-98-000397.txt : 19981124 0000947871-98-000397.hdr.sgml : 19981124 ACCESSION NUMBER: 0000947871-98-000397 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19981123 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: THORATEC LABORATORIES CORP CENTRAL INDEX KEY: 0000350907 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 942340464 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-32553 FILM NUMBER: 98757748 BUSINESS ADDRESS: STREET 1: 6035 STONERIDGE DR CITY: PLEASANTON STATE: CA ZIP: 94588 BUSINESS PHONE: 9258478600 MAIL ADDRESS: STREET 1: 6035 STONERIDGE DR CITY: PLEASANTON STATE: CA ZIP: 94588 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SULZER AG CENTRAL INDEX KEY: 0001074155 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ZUCHERSTRASSE 12 STREET 2: 8401 WINTERTHUR CITY: SWITZERLAND MAIL ADDRESS: STREET 1: ZUCHERSTRASSE 12 STREET 2: 8401 WINTERTHUR CITY: SWITZERLAND SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------------------------------------------------------------------------- SCHEDULE 13G Under the Securities Exchange Act of 1934 THORATEC LABORATORIES CORPORATION (Name of Issuer) Common Stock, No Par Value (Title of Class of Securities) 885175307 (CUSIP Number) David S. Wise, Esq. Sulzer Medica USA Inc. 4000 Technology Drive Angleton, TX 77515 Telephone: (409) 848-4000 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 16, 1998 (Date of Event Which Required Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) |_| Rule 13d-1(d) ------------------------------------------------------------------------------- CUSIP No. 885175307 (1) Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Sulzer AG ---------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of Group (See Instructions) |_| (a) ---------------------------------------------------------------------- |_| (b) ---------------------------------------------------------------------- (3) SEC Use Only ---------------------------------------------------------------------- (4) Citizenship or Place of Organization Switzerland -------------------------------- Number of (5) Sole Voting Power Shares ------------------------------------------------------------ Beneficially (6) Shared Voting Power 1,074,074 Owned by ------------------------------------------------------------ Each (7) Sole Dispositive Power Reporting ------------------------------------------------------------ Person (8) Shared Dispositive Power 1,074,074 With ------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,074,074 (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ---------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 5.3% ---------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) CO CUSIP No. 885175307 (1) Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Sulzer Medica Ltd. ---------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of Group (See Instructions) |_| (a) ---------------------------------------------------------------------- |_| (b) ---------------------------------------------------------------------- (3) SEC Use Only ---------------------------------------------------------------------- (4) Citizenship or Place of Organization Switzerland -------------------------------- Number of (5) Sole Voting Power Shares ------------------------------------------------------------ Beneficially (6) Shared Voting Power 1,074,074 Owned by ------------------------------------------------------------ Each (7) Sole Dispositive Power Reporting ------------------------------------------------------------ Person (8) Shared Dispositive Power 1,074,074 With ------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,074,074 (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ---------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 5.3% ---------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) CO CUSIP No. 885175307 (1) Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Sulzer Medica USA Inc. ---------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of Group (See Instructions) |_| (a) ---------------------------------------------------------------------- |_| (b) ---------------------------------------------------------------------- (3) SEC Use Only ---------------------------------------------------------------------- (4) Citizenship or Place of Organization Delaware -------------------------------- Number of (5) Sole Voting Power Shares ------------------------------------------------------------ Beneficially (6) Shared Voting Power 1,074,074 Owned by ------------------------------------------------------------ Each (7) Sole Dispositive Power Reporting ------------------------------------------------------------ Person (8) Shared Dispositive Power 1,074,074 With ------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,074,074 (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ---------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 5.3% ---------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) CO Item 1. Issuer (a) Thoratec Laboratories Corporation (b) 6035 Stoneridge Drive Pleasanton, California 94588 Item 2. Person Filing (a) Name of Person Filing: Sulzer AG, Sulzer Medica Ltd. and Sulzer Medica USA Inc. (b) Address of Principal Office: The principal offices of Sulzer AG and Sulzer Medica Ltd. are located at Zurcherstrasse 12, 8401 Winterthur, Switzerland. The principal offices of Sulzer Medica USA Inc. are located at 4000 Technology Drive, Angleton, TX 77515. (c) Citizenship: Sulzer AG and Sulzer Medica Ltd. are Swiss corporations. Sulzer Medica USA Inc. is a Delaware corporation. (d) Title of Class of Securities: Common Stock, no par value. (e) CUSIP Number: 885175307 Item 3. This statement is filed pursuant to ss.240.13d-1(c). Item 4. Ownership (a) Amount Beneficially Owned: 1,074,074 (b) Percent of Class: 5.3% (c) Number of shares as to which each person has: (i) Sole Voting Power: -0- (ii) Shared Voting Power: 1,074,074 (iii) Sole Dispositive Power: -0- (iv) Shared Dispositive Power: 1,074,074 Item 5. Ownership of Five Percent or Less of a Class Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company Not applicable. Item 8. Identification and Classification of Members of the Group Not applicable. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certification if Statement Filed Pursuant to Rule 13d-1(c) (a) Not applicable. (b) By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: November 23, 1998 SULZER AG By: /s/ Roman Beran ----------------------------------------------- Name: Roman Beran Title: Deputy Vice President and General Counsel, Head of Legal Department SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: November 23, 1998 SULZER MEDICA LTD. By: /s/ Andre Buchel ----------------------------------------------- Name: Andre Buchel Title: President and Chief Executive Officer SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: November 23, 1998 SULZER MEDICA USA INC. By: /s/ David S. Wise ---------------------------------------------- Name: David S. Wise Title: Group Vice President, General Counsel and Secretary EX-99.1 2 JOINT FILING AGREEMENT JOINT FILING AGREEMENT The undersigned hereby agree that the Statement on Schedule 13G, dated November 23, 1998, (the "Schedule 13G"), with respect to the Common Stock, no par value, of Thoratec Laboratories Corporation is, and any amendments thereto executed by each of us shall be, filed on behalf of each of us pursuant to and in accordance with the provisions of Rule 13d-1(k)(1)(iii) under the Securities and Exchange Act of 1934, as amended, and that this Agreement shall be included as an Exhibit to the Schedule 13G. Each of the undersigned agrees to be responsible for the timely filing of the Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning itself contained therein. This Agreement may be executed in any number of counterparts, all of which taken together shall constitute one and the same instrument. IN WITNESS WHEREOF, the undersigned have executed this Agreement as of the 23rd day of November, 1998. SULZER AG By: /s/ Roman Beran --------------------------------------------------- Name: Roman Beran Title: Deputy Vice President and General Counsel, Head of Legal Department SULZER MEDICA LTD. By: /s/ Andre Buchel --------------------------------------------------- Name: Andre Buchel Title: President and Chief Executive Office SULZER MEDICA USA INC. By: /s/ David S. Wise --------------------------------------------------- Name: David S. Wise Title: Group Vice President, General Counsel and Secretary -----END PRIVACY-ENHANCED MESSAGE-----